Business Continuity Plan

In accordance with NASD Rule 3510, Dunn Rush & Co. LLC has developed a business continuity plan as part of our ongoing contingency planning efforts to mitigate the impact of business interruptions. Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur. Keeping that in mind, we are providing you with this summary information concerning our business continuity plan.

Dunn Rush & Co. LLC plans to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees’ lives and firm property, making a financial and operational assessment, protecting Dunn Rush & Co. LLC’s books and records and allowing our customers to transact business. In summary, our business continuity plan is designed to permit Dunn Rush & Co. LLC to resume operations as quickly as possible, given the scope and severity of the significant business disruption.

Significant business disruptions can vary in their scope. A significant business disruption can affect only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region. The severity of the disruption can vary from minimal to severe within each of these areas. In either situation, we plan to continue in business, and you will be able to obtain status updates through our website at www.dunnrush.com or by calling our main number 617-451-0001.

The Dunn Rush & Co. LLC business continuity plan is reviewed periodically, and subject to modification with notice. Any updates to the summary business continuity plan will be posted on the Dunn Rush & Co. LLC website at www.dunnrush.com.

“Dunn represented, marketed and successfully sold our business. My partner and I interviewed a number of investment bankers prior to the transaction and chose Kevin because of his broad industry experience, professional reputation and ability to get deals done. Kevin and his team learned everything about our business and put together a comprehensive offering memorandum which generated tremendous interest from both private equity and strategic buyers. Kevin conducted an efficient auction of our company and was able to “walk-up” the ultimate sale price substantially. We never second guessed our decision to hire Kevin and I strongly recommend him for consideration for your project.”